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2nd Circ. Says Law Supports SEC’s $12M Penny Stock Win

Law360 (November 19, 2018, 5:16 PM EST) -- A three-judge Second Circuit panel ruled Monday that the U.S. Securities and Exchange Commission’s $12 million victory over a penny stock trader who didn’t comply with registration requirements could stand, saying...
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Case Information

Case Title

Subscribers Only

Case Number

Subscribers Only


Appellate - 2nd Circuit

Nature of Suit

1850 STATUTES-Secur Comm Exchange

Date Filed

July 5, 2017

Government Agencies

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